Statement of Changes in Beneficial Ownership (4)
August 01 2016 - 1:35PM
Edgar (US Regulatory)
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FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Brown Campbell P
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2. Issuer Name
and
Ticker or Trading Symbol
BROWN FORMAN CORP
[
BFA, BFB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
850 DIXIE HIGHWAY
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/28/2016
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(Street)
LOUISVILLE, KY 40210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Common
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805313
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D
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Class B Common
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312208
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D
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Class A Common
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1981768
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I
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Brown Barker 2013 LLC
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Class B Common
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270442
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I
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Brown Barker 2013 LLC
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Class B Common
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7868.5654
(1)
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I
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By 401k
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Class B Common
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2746
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I
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CBGB LLC
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Class B Common
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18
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I
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Child #1
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Class B Common
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18
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I
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Child #2
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Class A Common
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529554
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I
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CPB 2010 #1 LLC
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Class B Common
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24218
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I
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CPB 2010 #2 LLC
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Class B Common
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4632.6674
(2)
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I
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ESPP
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Class A Common
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71250
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I
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Trust FBO Campbell P. Brown
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Class A Common
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5266
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I
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Trust FBO Child #1
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Class B Common
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1950
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I
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Trust FBO Child #1
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Class A Common
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5296
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I
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Trust FBO Child #2
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Class B Common
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1950
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I
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Trust FBO Child #2
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Class A Common
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8042
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I
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Trust FBO Geo Garvin Brown IV
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Class B Common
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1353
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I
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Trust FBO Geo Garvin Brown IV
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Class A Common
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71250
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I
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Trust FBO Geo Garvin Brown IV (Irrev)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Appreciation Right
(3)
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$98.01
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7/28/2016
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A
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2851
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5/1/2019
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4/30/2026
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Class B Common
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2851.0
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$0
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2851
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D
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Restricted Stock Units
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(4)
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5/1/2017
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(4)
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Class B Common
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863.0
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863
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D
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Restricted Stock Units
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(5)
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5/1/2018
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(5)
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Class B Common
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476.0
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476
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D
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Restricted Stock Units
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(6)
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5/1/2019
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(6)
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Class B Common
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1458.0
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1458
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D
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Stock Appreciation Right
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$33.76
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7/26/2007
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4/30/2017
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Class B Common
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1874.0
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1874
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D
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Stock Appreciation Right
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$35.51
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7/24/2008
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4/30/2018
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Class B Common
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1719.0
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1719
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D
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Stock Appreciation Right
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$38.43
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7/22/2010
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4/30/2020
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Class B Common
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887.0
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887
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D
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Stock Appreciation Right
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$91.97
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7/24/2014
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4/30/2024
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Class B Common
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1112.0
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1112
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D
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Explanation of Responses:
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(
1)
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Number of shares acquired through the issuer's 401(k) plan as of July 27, 2016.
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(
2)
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Number of shares acquired through the issuer's employee stock purchase program as of July 27, 2016.
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(
3)
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No money was paid to or received by the reporting person for these SSARs.
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(
4)
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The restricted stock units vest May 1, 2017.
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(
5)
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The restricted stock units vest May 1, 2018.
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(
6)
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The restricted stock units vest May 1, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Brown Campbell P
850 DIXIE HIGHWAY
LOUISVILLE, KY 40210
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X
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Signatures
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Michael E. Carr, Jr., Attorney in Fact for Campbell P. Brown
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8/1/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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